Skip Ribbon Commands
Skip to main content
Navigate Up
Sign In
Check registration (?)

The national registration search contains the names of all individuals and firms who are registered to sell securities in Canada, with the exception of those registered solely with the Ontario Securities Commision (OSC).


Can't find the term you're looking for in the list below? Try these websites:

How do I find more information on letters and designations you might see listed after a financial professional's name.

See Our Guide to Designations

call option
A type of option that gives the holder the right to buy an asset at a specified price within a specified time.
A term that applies to bonds and preferred shares where the company may require you to sell back the bonds or shares by a certain date for a specified price. Also known as redeemable.
Canada Deposit Insurance Corporation (CDIC)
A federal government organization that provides insurance to protect money deposited in Canadian banks and certain other financial institutions.
Canadian Investor Protection Fund(CIPF)
In the unlikely event that the CIPF Member you are dealing with becomes insolvent, CIPF will ensure the securities, cash and other property that are held in your account are returned to you in accordance with their coverage policy.
Canada Pension Plan (CPP)
A Canadian government system in which you pay a percentage of your earnings to a fund that provides income when you retire.
Canada Revenue Agency (CRA)
The federal government agency that collects taxes and administers Canada's tax laws.
Canada Savings Bond (CSB)
A bond issued by the Government of Canada that can be cashed at most Canadian financial institutions.
capital gain
The increase in an investment's value. It is the difference between the amount you initially paid for an investment and the amount you sold it for.
cash account
A trading account where you pay cash for all transactions.
cash equivalent
An investment that can be quickly converted to cash with little risk, such as a treasury bill.
cease trade order (CTO)
An order issued by a provincial or territorial securities commission (or similar regulatory body) against a company for failing to meet disclosure requirements, such as filing a quarterly or annual financial statement, or as a result of an enforcement action that involves an investigation of wrongdoing. See Enforcement Terms.
certificate of deposit (CD)
A debt instrument that pays a fixed rate of interest at a certain point in time. Funds must be kept on deposit for a fixed period of time.
clearing house
An organization that settles trades and regulates the delivery of securities transactions.
closed end investment fund
A fund that issues a finite number of units or shares, which may trade on a stock exchange.
Canadian National Stock Exchange, a stock exchange for trading the equity securities of emerging companies. Formerly known as CNQ, Canadian Trading and Quotation System Inc.
commercial paper
A form of loan you make to a corporation. You buy the investment at a discount and you get the full value back on the maturity date. The time period is less than one year.
A fee you pay to a broker or agent for the service of arranging the purchase or sale ofa security or real estate investment. Commissions vary between brokers.
A basic good that is used in commerce that is interchangeable with another similar product. Commodity prices are subject to supply and demand. Examples include grain and oil.
commodity pool
A fund that invests in derivatives or commodities that conventional mutual funds are not permitted to invest in.
common share
A share in the ownership of a company, giving the holder a vote in the election of directors and some other major corporate decisions (see equities, shares, stocks).
compound interest​
Interest that's paid on the original amount deposited, and also on any interest that's been earned in previous periods (e.g.: in year 1, the bank pays you $5 interest on your $100 deposit; in year 2, it pays you interest on $105).
contingency fund
A fund that exists in to provide certain protections if a salesperson or mutual fund distributor becomes insolvent either because of business failure or fraud that leads to insolvency. Examples include the IIROC's Canadian Investor Protection Fund (CIPF) and the MFDA's Investor Protection Corporation (IPC).
continuous disclosure
The legally required public disclosure by issuers of their financial statements and new releases.
A party to a contract, generally the entity or person(s) with whom you negotiate an agreement (the other party to a transaction).
The interest rate stated on a bond, note, or other fixed income security when it is first sold.
credit union
A financial institution that owned by its depositors and borrowers.
Canadian Securities Administrators: a council of the securities regulators of Canada's 13 provinces and territories.